| 20-03115 | 04/20/2021 | Claimant(s): Michelle Young
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 20-03253 | 04/20/2021 | Claimant(s): Mario Saravia Garcia
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Wallstreet*E Financial Services.
Respondent Lawyers(s): Carlos Francisco Otalvaro
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
|  | Expungement |
| 20-02839 | 04/20/2021 | Claimant(s): Catherine Ward
Claimant Lawyers(s): Kimberly Ward
Respondent(s): Alicia Kitz, Michael Bahary, Hilltop Securities Inc.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | $0 |
| 20-04030 | 04/20/2021 | Claimant(s): Harvey Langford, Michael Langford
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 20-04161 | 04/20/2021 | Claimant(s): Xiaohan Qin
Claimant Lawyers(s): Xiaohan Qin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $87 |
| 20-02282 | 04/19/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Blackbook Capital, Charles Vista LLC, Hunter Scott Financial LLC, John Thomas Financial
Respondent Lawyers(s): Anthony C. Naccarelli, Franklin Ogele, Gregg Lorenzo, Maria Cummings, Peter Gouzos
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 20-02416 | 04/19/2021 | Claimant(s): Paul Largo
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jay Alan Kranis
Hearing Site: Jersey City, NJ
| | |
| 20-02451 | 04/19/2021 | Claimant(s): Brian Thomas
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-02925 | 04/19/2021 | Claimant(s): Geoff Feinstein
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group, L.
Respondent Lawyers(s): Richard S. Meisner
Arbitrator(s): Denise L. Quarles
Hearing Site: Jersey City, NJ
| | |
